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Vacancy Details

Compliance Monitoring Associate - Investments

Job reference : SCWCROCOM

Location : Barking

Benefits/Package : £30,000 - £40,000 per annum
Job Type : Permanent, Full-Time

Date Posted : 2017-05-12
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To work as part of an experienced Compliance team assisting with most aspects of ongoing compliance monitoring. The role will primarily be to support the Compliance Monitoring Manager including the following tasks:

Key responsibilities

  • Monitor and investigate daily reports in respect to market abuse surveillance, Best Execution and Transaction Reporting;
  • Additional monitoring activities to include thematic / BAU reviews, assessment of risk mitigation controls;
  • Escalating concerns, issues, exceptions and findings accordingly;
  • Assist the Compliance Manager in completion of the Compliance Monitoring Programme (CMP) including execution of Monitoring and Testing Plan;
  • Collation of data to populate key performance indicators and MI packs providing further analysis when negative trends are identified;
  • Attend and contribute to team and inter-departmental meetings;
  • To provide a business friendly and approachable compliance service to the business teams whilst maintaining the necessary independence;
  • Work with the business to undertake the programme of compliance monitoring activities, including writing reports and recommendations, and following up on agreed actions.
  • Maintain an organized and accurate system of records to manage all data within Compliance to ensure information is readily accessible, searchable and up-to-date;

Experience & Qualification Requirements:

Genuine interest in pursuing/developing a career in Compliance within investment management.

  • Prior Compliance experience from a financial institution
  • Have existing knowledge of regulatory, risk and/or legal environment for UK financial services firms
  • Educated to degree level or equivalent is desirable

Person Specification:

  • Investigative and problem solving skills
  • Analytical and methodical approach
  • Well organised, able to work to targets set, and show a flexible attitude to achieve results whilst working as part of a team
  • Able to deal with a heavy workload and prioritise effectively
  • Good working knowledge of Microsoft office, particularly Excel
  • Highly ethical
  • Strong ability to carry out research and obtain information Good communication skills
  • Results oriented
  • Self-starter and highly motivated
  • Ability to engage with the full range of business functions particularly in order to carry out the monitoring work

To work as part of an experienced Compliance team assisting with most aspects of ongoing compliance monitoring. The role will primarily be to support the Compliance Monitoring Manager including the following tasks:

Key responsibilities

  • Monitor and investigate daily reports in respect to market abuse surveillance, Best Execution and Transaction Reporting;
  • Additional monitoring activities to include thematic / BAU reviews, assessment of risk mitigation controls;
  • Escalating concerns, issues, exceptions and findings accordingly;
  • Assist the Compliance Manager in completion of the Compliance Monitoring Programme (CMP) including execution of Monitoring and Testing Plan;
  • Collation of data to populate key performance indicators and MI packs providing further analysis when negative trends are identified;
  • Attend and contribute to team and inter-departmental meetings;
  • To provide a business friendly and approachable compliance service to the business teams whilst maintaining the necessary independence;
  • Work with the business to undertake the programme of compliance monitoring activities, including writing reports and recommendations, and following up on agreed actions.
  • Maintain an organized and accurate system of records to manage all data within Compliance to ensure information is readily accessible, searchable and up-to-date;

Experience & Qualification Requirements:

Genuine interest in pursuing/developing a career in Compliance within investment management.

  • Prior Compliance experience from a financial institution
  • Have existing knowledge of regulatory, risk and/or legal environment for UK financial services firms
  • Educated to degree level or equivalent is desirable

Person Specification:

  • Investigative and problem solving skills
  • Analytical and methodical approach
  • Well organised, able to work to targets set, and show a flexible attitude to achieve results whilst working as part of a team
  • Able to deal with a heavy workload and prioritise effectively
  • Good working knowledge of Microsoft office, particularly Excel
  • Highly ethical
  • Strong ability to carry out research and obtain information Good communication skills
  • Results oriented
  • Self-starter and highly motivated
  • Ability to engage with the full range of business functions particularly in order to carry out the monitoring work
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